- Execute and ensure timely delivery of Compliance Reviews, including Branch Reviews as per the review plan approved by ACB aligned with RBI and other regulatory guidelines.

- Conduct RBS Tranche III Testing as per RBIs Risk-Based Supervision guidelines.

- Create current system rules for automating testing of regulatory obligations on a continuous basis and analyse the exceptions.

- Integrate data analytics and automation tools for enhanced testing efficiency.

- Carry out detailed reviews of processes, products, and systems to identify gaps and recommend corrective actions.

- Perform sample checks, walkthroughs of processes, products and systems and control validations.

- Prepare Compliance Review Reports highlighting observations, root causes, and remediation plans.

- Present findings to Senior management and Audit Committee.





- Maintain centralized repository of testing results for regulatory and internal audits.

- Regulatory Alignment
- Stay updated on regulatory changes and incorporate them into testing programs.

- Liaise with regulators during inspections and audits, ensuring timely and accurate responses.

- Stakeholder Management
- Collaborate with business, operations, risk, internal audit and technology teams

- Provide advisory support on compliance matters and emerging risks.

- Additional Strategic Responsibilities
- Drive continuous improvement through automation, AI-driven analytics.

- Contribute to compliance risk assessment and annual compliance plan.

- Support training and awareness programs for business units on compliance observations.

📌 Team Member Compliance Testing (Mumbai)
🏢 Kotak Mahindra Bank
📍 Mumbai